Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey M Guzman is a financial professional with over 20 years of experience in the securities industry. Jeffrey is currently registered with Brean Capital, LLC in New York, NY. Prior to this, Jeffrey has worked at a number of financial institutions including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Cantor Fitzgerald & Co. Jeffrey holds a Series 7, 24, 39, 52TO, 53, 55, 6TO, 14, 22TO, 26, 57TO, 82TO, 87, 99TO and SIE license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
10/13/2014 - Present
Brean Capital, LLC (NEW YORK NY)
NY
08/13/2019 - 06/17/2022
HUNT FINANCIAL SECURITIES (New York NY)
NY
10/03/2012 - 10/09/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/02/2012 - 10/09/2014
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)
NJ
01/14/2008 - 08/03/2012
GLEACHER & COMPANY SECURITIES, INC. (ROSELAND NJ)
NY
12/04/2006 - 01/04/2008
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
09/07/2005 - 11/29/2006
MAXIM GROUP LLC (NEW YORK NY)
NE
08/16/2002 - 08/01/2005
TD WATERHOUSE CAPITAL MARKETS, INC. (BELLEVUE NE)
NE
06/26/2000 - 08/16/2002
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 09/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/07/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/04/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2009
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/2008
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/27/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/23/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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